The Staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) has published responses to frequently asked questions (FAQs) regarding the SEC’s 2014 amendments...more
6/17/2015
/ Amortization ,
Capital Contributions ,
Disclosure Requirements ,
Division of Investment Management ,
Floating NAV ,
Fund Managers ,
Investment Companies ,
Liquidity Fees ,
Money Market Funds ,
NAV ,
New Amendments ,
Redemption Gates ,
Reorganizations ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Seed Financing ,
Websites
This OnPoint describes the role of the SEC’s Division of Investment Management (Division) in uncovering the alleged fraud through an analytical review of the Fund’s performance data and portfolio information. It then...more
12/19/2013
/ Enforcement ,
Enforcement Actions ,
Fraud ,
Fund Managers ,
Investment Fraud ,
Investor Protection ,
OCIE ,
Portfolio Managers ,
Risk Assessment ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Fraud